timothy c batten financial disclosure report for 2009

8/3/2019 Timothy C Batten Financial Disclosure Report for 2009

1/13

I Ao/o FINANCIAL DISCLOSURE REPORT n w , ,r t R e q u i r e d b y t h e Ethicsin (7ove~ nment Act of 1978R e , . ~ / 2 o ~ o FOR CALENDAR YEAR 2009L Person Reporting (l~t r~mc, f irst, middle init ial) Z. Cour t or Orgznizat ion 3. Dzze of ReportBatterL Timothy C. U.S. District Court, N.D. Go. 05,10/2010

4. Title (Arlicle Ill judges indicate active o r senior status; 5a. Report Type (check appropriate type) 6. R~porliag P~rlodmagistrate judges indicale full- or part-time)[---I Nomination, Date 01/01/2009

District Judge-Active [] lnilial [] A .... I [] Final ta12/31120095b. [] Amended Rcpor~

7. C ha mbe rs a r Off i c e A dd re s s g. On the bas is of the Jnlormation co ntained in this Report and toymod ifica t ions perta in ing there to , i t i s , in my opin ion , in omplian~Suite 1788 wilh applicable Iz,*s and regulations,.75 Spring Street, SWAtlan ta , GA 30303 Reviewing Officer Dale

IMPORTANT NOTES: Tt~e instructions accompanying this form must be followed. Complete all parts,checking the NONE box far euch part where you hav~" leo reportable inJbrmation. Sign on last page.

I . P O S I T I O N S . ~ , ; o , , i , g individuo! only; ~ee pp. 9-13 of filing i ........ tlons.)[~] NONE (No reportable positions.)

POSITION NA M E O F ORGA NIZA T IO N/ENTITY1. Director and Secretary T.E.C.H Ventures, Inc.

2. Managing Member ME Series B Holdings, LLC

1 1 . A G R E E M E N T S . t~o.i.~ individual only; ,ee VP" 14-16 of filing instruttions3N O N E (No reportable agreements.)

D A T E PARTIES AND TE~SI.


2/13

IN,mef P ~ r s o n R e p o r t i n ~F I N A N C I A L D IS C L O S U R E R E P O R T I Batten, Timothy C.05/05!2010age 2 o f 1 3

I II . N O N - I N V E S T M E N T I N C O M E . t~,po,,iog individual andsp .. . .. : s e ~ p p . 1 7 - : o f f i l in g i n s t r u c t i o n s . )A. Filers Non-Investment Income

~ NONE (No reportable non-investment income.)DATg SOURCE AND TYPE

(you~, not spou~es)I.2.3.4.

~ NONE (No reportable non-investment income.)D A T E ~OURCE AND TYPE

1.2.3.4.

~ \ . . 1 . R E I M B U R S E M E N T S ...... ,~ ..... io,. ~oa~ i,g. /oo~ ........ i .....(Includes Iho~e 10 spouse ~d dependent chddren, see pp 23-27 o]Jiling m~tructlon~ )

[~] NONE (No reportable reimbursements.)

SOUR_C~ D A T E S_ LOCATION PURPOSE ITEMS PAID OR PROVIDEDl. American Conference 06tl 5 ! 2 0 0 9 - Boston, MA 1.itiga6ng D isability Airfare, HotelI n s t i t u t e 06/17/2009 Insurance Claims Seminar2.3.

5


3/13

F I N A N C I A L DISCLOSURE Iame o f P er ~n R epo t t in g Date o f R epo r tEPORT] Hatten, Timothy C.

Page 3 of ! 3 05/05/2010

V . G I F T S . t ~ . ~ t . d . . , * o . o , o , ~ o ~ , , ~ . d d,p~ndtn, children; s e e p p . 2 ~ - S l of filing i ....., ions.)~ NONE (No reportable g~s.)

1. Do u g Cr a~ Quail hunting tr ip in JanuaD, $~0 002. Steve Witmer Quai~ hunth~g tr ip in Janua~ $600 ~3. Monte ~ohnson Quail bunting trip in Janua& $600.~4.

5.

V I . L I A B I L I T I E S . tt.c~.u,, ,t,.. o/~p ...... a a . . . .. u o . , children; see p ~ , 3 2 - 3 ~ O]flllng ins.uctlons,)~ NONE (No reportable liabi#ties.)

C R E D I T O R D E S C R I P T I O N VALUE COD~1. Ch~e Platinum Mastercard Credit Card K2. Donald L. P lunket~ Loan L3. Medicrafi Ente~rises, LLC L o a n t.4.5.


4/13

F I N A N C I A L D I S C L O S U R E R E P O R T ~ .... [ P ..... R e p o r t i n g D , t e o f R e p o ~P a g e 4 o f 1 3 s s = t te . , T i m o t h y C . 0 5 / 0 5 1 2 0 1 0

V I I . I N V E S T M E N T S a n d T R U S T S - ; . . . . . . . . ~ . . . . . . . . . . . io,~ (Includes those of sp ...... d depcndet,r children;.~eepp. 34-60 of~ling in,truct;on~.)N O N E (No reportable income, asseta, or transactions.)

" ~k: ........ j ~ I . . . . . . c .Des~ipfion of Assc~ I n c o m e d u r in g G ro s s v a l u e a t e n d Transactions d~mg r~ning ~tiod(including t ~ s t a s ~ t s ) rc~rting ~riod o 1 " r e p o r t in g ~ n o d[ ........ ..... .........P l a c e " ( X F a f t e r e a c h ~ s e t Amount T~(eg.. Value : Value T~ {e.g., Da~c ] Value [ Gain ~ Idcntityore x e m p t f r o m p r i o r d i ~ l o su r e Code I div., rc~ C e d e 2 j M e th o d b u ~ , s e l l . n)ntZd~yy Code 2 [ Code I . b u y e r ! s t i l e ][ ( A - H ) ~ or int.) ( J - P ) [ C o d e 3 r~em~tioa) ~ (J-P) [ (A-H) ( f f p r i v a t ct r a n s a c t i o n )Q-W) .......... .........I. CVS Caremark Co~ A Dividend Sold 09/02/09 K C2. Cisco Systems A Dividend Sold 09/02;09 J A3. General Electric A Dividend Sold 09/02/09 J A4 . Lowes A Dividend Sold 09/02/09 J A

! 5. Medtronic A D ividend So ld 0 9 / 0 2 1 0 9 J A6. Growth Fund of America Class A (Symbol: A Dividend Sold 02!10/09 L AAGTHX)7. Franklin Mutual Qualified Fund Class C A Dividend Sold 0 9 , 0 2 / 0 9 L A(Sym: TEMQX)8. W ashington Mutual Investors Fund Class A A Dividend Sold 02/10/09 K A( Sym: AWSI I X)9. Capital World Growth and Inc. Fund CI A A Dividend Sold 09/02/09 K A(Sym: CWGIX)

I0 . Fundamental Investors Fund Class A A Dividend Sold 09/02/09 K A(Symbol: ANCFX)I. American Funds Short Term Bond CI A A Dividend Sold 08/03/09 K A( Symbol : ASBAX ) (part)

12 . American Funds Short Term Bond C1 A A Divtdcnd Sold 0 % 0 2 / 0 9 K A( Symbol : ASBAX )13. ME Series A Holdings, LLC None J W Buy 01,15/09 J ME Series A Holdmgs,~LLCI,

1 1 4 . ~vlE Series B Holdings, LLC None .I W B uy 01/15/09 J L L c M E S e r ie s 1 3 t l o ld i n g s.15 . Adobe Systems Inc (DE) (Symboh ADBE) None J T Bu y 10/20/09 116 . Allstate Corp (Symbol: ALL) None Bu y 1 0 / 2 0 / 0 917 . Allstate Corp None Sold 10/27/09


5/13

F I N A N C I A L D I S C L O S U R E R E P O R T [ N .... f P . . . . . R t p o t l i a g D a l e o f R e p o r tPag e 5 o f 1 3 I T i m o t h y C . 0 5 ! 0 5 / 2 0 1 0

V II. INVESTMENTS and TRUSTS - i.o ...... . ~ . . , , ...... liOnS (Includes tho,e of w ...... d dwenden, c~ildren; gee pl~ 34-60 of fi ling~ N O N E (No reportable income, assets, or transactions.)A .................. . . . . . . . . ~ ................ C. ........................--

(including i~st ~ts) : report ing pcrlod of rcporiln~ period

P l a c e " ( X ) " a f t e r e a c h a s ~ : A m ou nt : T y pe (e .g ., V a l u e V a l u e :: T)~c (eg., D a t e Value G a i ne x e m p t f l o r a p r i o r d i s c l o s u ~ C o d e I d r y . . l e n L C~C ] M e t h o d b u y , s e l l , mm!d(uy ) C od e 2 C o d e I(A-} l ) o r m ~ ) (J-PI Code 3 redcmplionl (J-P~ (A-H I

.......................

18 . Am erican Tower Co~-Class A (Symbol: None ) T B uy 1 2 / 0 8 , , 0 9 JA~T)i9 . A pp le In c (S ym bo l: A AP L) None J T ~u y 1 0 , t 2 0 / 0 9 J

2 0 . Apple lnc None J T Bu y 1 Z 0 8 ! 0 9 J(addl)2 1 . AT& I lnc (Symbol:l) None Bu y 1 0 / 2 0 t 0 9 J2 2 . AT&-f lnc None Sold I 0 / 2 2 1 0 9 J A23 . Bank of America Corp (S)mbol: BAC) A Div ide nd J T B uy 12,08/09 J24 . Baxter lnll Inc N o n e J T B uy 12/1 I109 J

25 . CVS Caremark Corp (Symbol: CVS) N o n e t3uy 1012009 J

2 6 . CVS Caremark Corp None Sold I 1il6/092 7 . Capital One Finl Corp (Symbol: COF) A Dividend J T Bu y I 0 s 2 0 1 0 92 8 . Capita( One Finl Corp Nooe Sold I Z ~ 8 f 0 9(part)2 9 . Celgene Corp (S),mbol: CELG) Nooe J T B uy 1 0 ! 2 0 / 0 93 0 . Celgene Corp None Sold 1 2 / 8 / 0 9 J(part) :

31 Cisco Sys In(Symbol: CSCO) None J T Bu y 1 0 1 2 0 1 0 9 J3 2 , Cisco Sys Inc None J T gu) 1 / 2 5 1 0 9 J(addl)3 3 . Cisco Sys Inc None J T Bu y 1 2 / 0 4 / 0 9 J(addl)3 4 . Cisco Sys Inc None J T Bu y 1 2 / 1 8 1 0 9 J(addl)


6/13

F I N A N C I A L D I S C L O S U R E I ~ E P O R T r~ ....t ~ . . . . . a~t io .~ o , , , o ~ a , ~ o -P a g e 6 o f 1 3 B a t t e n , T i m o t h y C . 0 5 / 0 5 t 2 0 1 0

~ N O N E (No reportable income, assets, or transactiot~.)......................~ . : . . . . . . . . . . . .B ! ..... ~ .... D .D e ~ r ip t io n o f A s s e t s I n c o m e d u r i n g G r o s s v a l u e a t e n d T~nsactions d~ng reposing period

( i n c l u d i n g t r u s t ~ s c t s ) repos ing ~r i~ o f repor t ing per iodPlace(X)" afle, each ~set Am ount [ T~c (e .g .. / Value [ Va ue T r p e ( e g . . [ Date / Value G a i n I d c n t i t ~ o .x~pt,o~ prior disclosure Code l , di ...... L / Code2 ( Method I b u y , s e l l , ~mm/d~. ~ C~e 2 C o d e I buyer/sell.( A - I I ) o r i n t ) ~ ( I - P ) I C o d e 3 r e d e m p t t o n ) ( J - P ) (A-H) i ( i f p r i v ~ l e{ Q - W ) j ~ ~ t r a n s a c h o n }

3 5 . Cisco Sys lnc None Sold 12/8/09 J( p a ~ t )3 6 . DirecTV C[ A (Symbol: DTV ) None J " 1 ~u y I l/I 1/09 J3 7 . Dir~cTV CI A None J T Bo y I 1 / 2 4 / 0 9 J(addl)3 8 . DirecTV CI A None J T Bu y 1 2 i 4 / 0 9 J(addl)3 9 . Direc~ CI A None J T Bu y 12/14/09 J(addl)4 0 . Direc~ C1 A None Sold 1 2 / 8 / 0 9 J A(part)4 1 . Dow Chemical Co (Symbol: DOW ) None J T B uy 10/20/09 J4 2 . Dow Chemical Co None Sold 12/8/09 J A(pan)4 3 . DreyFuss Liquid Asse~ lnc Class 2 A Int./Div. J T Bu y 10/20/09 M

4 4 . Dreyfuss Liquid Assets Inc Class 2 None Sold 10/21/09 L A[ p a r t )4 5 . Dreyfuss Liquid A ssets luc Class 2 None Sold I 0 / 2 3 . 0 9 M A(par046 Express Scripts Inc. Common (Symbol: N t m e J T Bu y 1 0 / 2 0 / 0 9 I J4 7 . Express Scripts Inc. Commo n None Staid 1 2 / 8 / 0 9 J A( p a r t )4 8 . Fed I tome Loan Mtg Co~ Med Trem NTS A Interest K T Bu y 10/20/09 KB~ntD CUSI P#3137EAB ZI4 9 . Fed Home Loan M{g Co~ Med Trem NTS None Sold 1 2 , 8 / 0 9 JB~n~"5 0 F ed t ip to e L a Mt g C~ G lo ba l Re f No te s None J T B uy 0/20/09 KBL~Ent~5 1 . Fed Home L n Mtg C~ Global RefNotes None Sol0 1 2 / 8 / 0 9 JB~EnI~ (paa)


7/13

N ~ m e o f P e r s o n R e p o r t in g J D a t e o 1 " R e p o r tP a g e F IN A N C I A L 7 o f 1 3 D I S C L O S U R E R E P O R T a ~ t , ~ , , , T raothy C. ! 05/05/201V I 1 . I N V E S T M E N T S a n d T R U S T S - i ........ ~tu,,, ......, ~ o , . ( In c l u d e s t h o se o f s p o u s e a n d d e p e n d e n t c h i l d r e n ; s e e p p . 3 4 - ~ 0 o f f i l i n g i n s t r u c t i o n . )~ NON E income, assets, or tratmactions.)eportableA B . C.

D e s c r i p t i o n o f A s s e t s I n c o m e d u r i n g G~oss ~lue zt cad Transactions during rc~ling0ncluding t~st ~s~ls) r c p o r u n g p e r i o d o f r ~ o r t i n g p e r i o dPlace"(X)" aft ..... h ~et A ....I $~e (e.g.. V M u e ] Value ~ r~e (eg . , Date Value Gain I d e n t i t y o fC o d e I b e , y e t s e l l e re x c m p ~ f r o m p r i o r ~ s c l o s u re d i v , r e a l . C o d e 2 M e t h o d ~ b u y . s c l L m~d~)y ~ Code 2I (A - H ) o r i n t . ) 0 - P ) C o d e 3 redes p on)

~ [ Q - W ] t r a n s a c t * o n )

5 2 . Fedex Co~ (Sym~l: FDX) None J T Bu y 1 2 / 1 5 ! 0 9 J5 3 . Free~rt McMoran Copper & G~ld CI B None J T Bu y , 12!08i09 I J(SymbohFCX)5 4 . Freepoa McMoran Copper & Gold CI D None Sold 1~29/091 J(pad)5 5 . General Dynamics Co~ (Symbol: GD) None J T Bu y 10/20/09

5 6 . General D ynamics Corp None J T Bu y I 1/25/09, J(addl)57. General Dynamics Corp None J T Buy 112/i4/09 J(addl)5 8 . General Dynamics Corp None J T Bu y 1 2 / I 5 / 1 3 9 J(addl)5 9 . Gilead Sciences Inc (Symbol: GILD) None 3 T Bu y 1 1 0 / 2 0 / 0 9 J6 0 . Gilead Sciences lnc None Sold 12/8/09

i (part)6 1 Gile:.td Sciences In c None Sold 1 2 1 1 8 1 0 9i ( p a r t )

[ 6 2 . Goldman Sachs Group lnc (Symbol: GS) A Dividend J " r Bu y 1 0 1 2 0 / 0 9

6 3 . Google Inc Class A (Symboh GOOG) None J T Bu y 1 0 1 2 0 , 0 90 4 . llewlett Packard Co (Symbol ItPQ) None J T B uy 1 0 , 2 0 / 0 9

65 . Hewle*l Packard Co No n e J T B uy 12/21/09 J(addl)66 . Intl i3usmcss Machines Corp (Symbol: A Div ide nd J T B uy 10/20/09 JIBm1)67 . Ishares lboxx S lnvestop Investment Grade A Div ide nd J 7 B uy IO/20/09 KCorp FD FD ("LQD")68. lshares Ibox $ Investop Investment Grade N o n e Sold 12/8109 J ACorp FD (par t)


8/13

FINANCIAL DISCLOSURE REPORT N .... fP ..... [~tparlingP a g e 8 o f 1 3 B a t t e n . T i m o t h y C . 0 5 / 0 5 a 0 ~ 0

V I I . I N V E S T M E N T S a n d T R U S T S - i . . . . . . . . . ~ u , . , . . . .. . . i o ~ a n a u a e s , i . . .. o/~ . . . . . .. ~ a ~ p , . ~ o . , ~ , ~ : ~ o , p p . ~ - ~ o o z . m i ~ g i . , , r . e , i o . ~ )~ (No reportable income, assets, or transactions.)ONE ^. i ~. -- c. - .................... 6 ..........................D e s c r i p t io n o f A s s e t s ; I n c o m e d u r i n g G r o s s v a l u e a t e n d T r a n s a c t io n s d u r in g r e p o r t in g p e r io d( i n c l u d i n g t r u s t ~ s s e t s ) ! r e p o r t i n g p c r i o d o f r e p o r t i n g p e r i o d

! (0 i (2) (~) . (2) O) I (2) I (3) (4) " (s )i Type (e.g.. Value V alue Type (eg. ] Dat e V a l u e G a i n I d e n t i t y o fl a c e " ( X ) " a f t e r e a c h ~ s e ~ , A m o u n t ;e x e m p t f r o m p r i o r d i s c l o s u r e [ Code 1 idiv., rent. C o d e 2 Melhod b u y , s e l l, i mm!dd/yy Code 2 ] Code I buyer/seller:, ( Q - W ) . r t r a n s a c t i o n )

6 9 . lshares lboxx $ Investop Investment Grade None J T Buy 1~30/09 JCarp FD (addl)7 0 . JP Morgan Chase & Co (Symbol: JPM) None J T Bu y 10/20/09

7 1 . JP Morgan Chase & Co None Sold 12/8/09 J(part)7 2 . Kohls Carp (Symbol: KSS) None J T Bu y I O 1 2 0 / 0 9 J7 3 . Kohls Carp None Sold 12/8/09 J(part)7 4 . Medco Health Solutions lnc (Symbol: MHS) None J T Buy 10/20/09 J7 5 . Medea Health Solutions Inc None Sold 12/8/09 J A(part)7 6 . Merck & Co lnc (Symbol: MRK) None J "1- Bu y 10/20/09 J

7 7 . Merck & Co Inc None Sold 12/8/09 J A(part)

7 8 . Metlife Inc (Symbol: MET) None Bu y 10/20/09 J7 9 . Metlife Inc None Sold ! 1 0 / 2 7 / 0 9 J8 0 . Microsoft Carp (Symbol: MSFT) A Dividend J T Bu y 1 0 / 2 0 / 0 9 J8 I . Microsoft Carp None J T B uy 12/08/09 Jladdl)

8 2 . Occidental Petroleum Corp-Del (Symbol: None J T B uy t0/20/09 Jo x Y )8 3 . Occklental Petroleum Corp-D el None J T Bu y 1 ! 0 4 / 0 9 J(addl)8 4 . Occidental Petroleum Coq~-Del None J T Bu y 1/05/09 J(addl)8 5 . Occidental Petroleum Corp-D el None Sold 1 2 / I 4 / 0 9 J(part)


9/13

P a g e 9 o f 1 3 Bat len, Timothy C. 0 5 / 0 5 / 2 0 1 0V II. INVESTMENTS a nd T R U S T S - i . . . . . . . . , ~ e . , ...... , ~ o . * r , ~ c , , , ~ o . , , ~ , , o l , p . . . . .. a ~ . p ~ . s . . ..~ N ONE (No reportable income, ~sets, or transaction.)......... ~. - ...... V " B. - " C. " ...................~cfip t ion of As~ I I n c o m e d u r i n g G r o s s v a l u e a t c e d Transactions during re~mng ~riod(i.cluding I~sl .... ~) : 1 - - _ r c p ~ r ? i n ~ _ ~ r , o d o f r c p o , l i n g p c l , o d

[ (]) z ~ (~) ~ ~2) U) (2 )P l a c e " { X ) " a f t e r ~ c h ~ s c l ( A m o u n t ~ T y p e ( e . g . . V a lu e ~ Value T~pe leg Date . [ V a~c Gain I d e n t i t y o fex~pt from prior disclosure Code I d i ~ . . r c o k C~c 2 ~ M e t h od b u y . s e l l . t n m . t d d t~ y ] C o d e 2 ~ C o d e I b u y c r / ~ e l l e r( A - H ) : t~rint .l (I-P) Code3 r e d e m p t i o n ) ~ IJ-P) IA-H) (ifpr)vale~ ~ ( Q - W ) t r , m s a c ~ i o n )86 Oracle Co~ (Symbok ORCL) None J T Bu y 1 0 . . 2 0 . " 0 9 J8 7 . Oracle Corp None J T Bu y I 1 ! 2 5 / 0 9(addl)8 8 . Pfizer Inc (Symbol: PFE) None J T Bu y 1 1 / 2 5 / 0 98 9 . Philip Morris lntl Inc (Symbol: PM) None J T Bu y 10/20;09 J9 0 . Philip Morris lntl Inc None J T B uy 12/08/09(addl)9 1 . Philip Morris lntl Inc None Sold 1 2 / I 1 / 0 9( p a r Q9 2 . P,ax.air I,~c (Symbol: PX) A Dividend J T ~ l u y 1 0 , 2 t } i 0 ~9 3 . Praxair Inc None Sold 1 2 / 8 ; 0 99 4 . Precision Castparts Corp (Symbol: PCP) A Dividend J T Bu y I I ! 1 8 / 0 9

9 5 . Precision Castparts Corp None ] T Bn y 2 , 0 7 / 0 9(addl)9 6 . Precision Cas)par)s Corp None J T Bu y 1 2 / 2 1 / 0 9(addl)9 7 . Qualcomm lnc (Symbol QCOM) A Di~idend Bu y 1 0 1 2 0 / 0 99 8 . Qualcomm I .c None Sold 1 2 / 9 / 0 9(part)9 9 . Qualc0mm Inc None Sold 1 2 1 1 4 / 0 91 0 0 . Salesf0rce.com Inc ISymbol: CRM) None J T ~ ) u v 1 2 . ~ 3 1 ) , 0 91 0 1 . Staples Inc (Symbol: SPLS) None 21 T 1 3 u y ! 1 0 / 2 0 / 0 91 0 2 . Staples Inc None Sold 1 2 / 8 / 0 9(part)


10/13

F I N A N C I A L D IS C L O S U R E R E P O R TP a g e 1 0 o f 1 3 a a t le n , " t i m o t h y C . 0 5 / 0 5 / 2 0 1 0

V I I . I N V E S T M E N T S a n d T R U S T S - i , , . . . . . . . . , , , , . , r . . . . . . , o, , , a , ,c , , , ,~., ,h ... .. , ; .. . .. . . .. , t a.p ..a., , , c,, .a. . .:N O N E (No reportable income, ~sets, or transactions.)

Descr ipl ion of A~cts Income during G r o s s ~ , a lu c at end Transactions duhng rc~rt ing ~liod(including I~st as~els) rcpoaing per iod of reposing period-~i~--~- ~ ~ -~q---~ ~,~ ~ --6~ ..... ~ ...........~ ..........Pl~ce "(X)" after e~h ~t ] Amount / T)~ (eg.. V alue V alue T)yc (c.g. D a~ V~lue Gnin. ldentilyexempt l~om prior ~sc losure Code II~ div.. renk Code 2 Method buy. sell. m~d~ Code 2 I C~e I buyer/seller(A-H),[ or int .) (J-P} Code 3~

rcdcmpt ion) (J-P) I , fprivat~.............................. ~ ..... ............. [Q-W~ .... [ ......... I t ran~et~on)

103. State Street Co~ (Symbol: S~) N o n e B u y 10/20/09 JI~. Sla~e Stree~Co~ N o n e Sold I I116/09 J

105 TargetCo~ (Symbol: TGT) A Div ide nd B uy I0/20/09 J106. Target Corp None Sold I 1/23/09 J(part)107. Tzrge~ Co~ None Sold 12/1,09

( p a r t )108. Target CoO N o n e Sold 1214/09 J109. 3M Company (Symbol: MMM) A Div ide nd J T B uy 10120/09 J

10. 3M C~mpany A Dividend J T Buy 1&23/09 J (addl)I 1. 3M Company N o n e J T B uy 12114!09 J

laddl)112. Transocean Ltd Switzerland (Symbol: RIG No n e J T B u y 1& 20/09 J

13. Transocean Ltr Swi~etland N o n e J T B uy 1/25/09 J{add l)14 T ra ns oc e a r~ L t r Sw i tze r l a nd Nenc Sold 1218/09 J{part)15 Union Pacific Co~ (gymbol; UNP) N ~n c 3 7 B uy 10/20/09 J

116. Union Pacific Co~ N~ne Sold 12/8i09 J A (par t)17. United Technologies Coo (Symbol: UTX) A Div ide nd J T B uy 10/20/09 J18. Vale S A Sport ADR (Symbol: VALE) No n e J T B uy 10/20/09 J19. Vales A Spon ADR None Sold I~18/09 J A

(part)


11/13

Ia m e o f P e r s o n R e p o r t in gF I N A N C I A L D IS C L O S U R E R E P O R T ] B a t t e n , T i m o t h y C .P a g e 1 1 o f 1 3N O N E (No reportable income, assets, or transactions.)

~fiption of Asse~ Incom e during Gross value al end Transac l ioa~ during reposing ~nod( inc lud ing ~ s t ~ s e ~ ) r~ofling peri~ of report ing pcri~- (I ) (2) (I ) (2 ) (0 ~ (2) ! (3) : (4) [-- ~ 5 ~Place "(X)" after each ~ A m oun t Type (e .g . , V a l ue V a l ue T ype (e .g ,exempt f~m prior ~losure ~ Code I div., rc~k buy, sell,~ 2 M~hod [mndd~ ~ Code 2 Code I ~ buyer/seller[ (A -H ) or ml . ) ( LP) Code 3 ,edcmption)~ (Q-W) :, i transaction)

120. V~sa Inc Corn CI A (Symbol: V) A Dividend J T B uy : 10/20/09 J121. Visa Inc Corn CI A A D i v i d e n d J T B u y I 1/10,09 J

122. W ~ l t Disney Co (Symbol: DIS) None J T B u y 10.~20.09123. Wea~berford Intl Lld.-CHF ( S y m b o l : W ~ ) None B u y 10/20/09 J124 Wea~herford Intl Ltd.-CHF (Symbol: WFT) None Sold 11/25/09 J125. Yahoo lnc (Symbol: YIIOO) N o n e B uy 10/20/09 J126. Yahoo [nc N o n e Sold 11/25/09 J

I [nzo,m Gain Codes: A .$1L~00 or 1$s C ~$2,501 _ $5.000


12/13

F I N A N C I A L D I S C L O S U R E R E P O R T NJm, of P . . . . . R e p o r t i n g ] Da,t of ReportP a g e 1 2 o f 1 3 Batten, Timothy C.I

05/10/2.010

V I I I . A D D I T I O N A L I N F O R M A T I O N O R E X P L A N A T I O N S . a~dic,,,p~,,o~R,po,,)

Regarding my Investments (Part VII):Items I through 12 were held in my Keogh accoo nt managed by MorgaaStanley SmithBamey. I n October, I rolled over that account into an IRA also m anaged bvMorganStanley SmithBamey. All of the assets listed in items 15 through 126 are included within that IRA.


13/13

F I N A N C I A L D I S C L O S U R E R E P O R T/ Batte n, T im oth y C .

D , t , o r R e p o r tPage 13 of 13 05/05/2010I X. C E R T I F IC A T I O N .

I cert i fy that al l informa tion given above (including information pertaining to m y spouse an d minor or de pende nt chi ldren, i f any) isaccurate, true, and complete to the best of my kno w edge and belief and that an} information no t reported was withhehl becanse it met applicable statutoryprovisions permitting non-disclosure.1 further certify that earned income from outside employmen t and hono raria and the acceptance of gif ts which have been reported are incompliance with the provisions of 5 U.S.C. app. 501 et. seq., 5 U.S.C. 7353, and Judicial Conference regulations.

S i g n a t u r ~

NOTE: ANY INDIV IDUAL W HO KNO\VINGL AND W ILFUI.L FALSIFIES OR FALL S TO FILE Ti ll s REPORT MAI BE SUBJECT TO CIVILAND CRIMINAL SANCT IONS (5 U.S.C. app. 104)

FILING INSTRUCTIONSMail signed original and 3 additional copies to:

Commitlee on Financial DisclosureAdministrative Office of the United States Courts,Suite 2-30tOne Columbus Circle, N.E.Washington, D.C. 20544

timothy c batten financial disclosure report for 2009

Documents